by FA Staff
Evoke Wealth Management and Maven Bridge Capital have formed one company that operates out of New Jersey and California.
by FA Staff
The Latus Group, founded by a former SWAT team police officer, has a retirement plan bent.
by FA Staff
Lance Lively left a 19-year career at Edward Jones to join Ameriprise's independent channel.
by
Eric Rasmussen
The firm reported $3 billion in net revenues for the first fiscal quarter.
by
Jacqueline Sergeant
Jesus Rodriguez of El Paso, Texas, allegedly robbed the accounts of 10 clients.
by
Jennifer Lea Reed
A year after taking the helm at Sanctuary, industry veteran Adam Malamed sees a "huge opportunity" for growth.
by
Tracey Longo
The faulty performance statements caused wide-ranging disruptions for the Pennsylvania pension fund, the SEC said.
by
Jennifer Lea Reed
The firm's 2023 report on U.S. advisors also found headcount at wirehouses and independent B-Ds shrank.
by
Hannah Levitt
Insiders have been predicting the firm would need to rotate bosses to give them new challenges.
by FA Staff
Wilde Wealth, based in Scottsdale, Ariz., has more than 42 advisors working from nine Southwest U.S. locations.
by
Tracey Longo
That's 11 times more than the agency has estimated, the independent broker-dealer industry group said.
by
Jennifer Lea Reed
The wirehouse alleges Nader Joseph Al-Mooshi is soliciting a group of its clients that is worth $420 million.
by
Tracey Longo
The bank failed to report exact prices on millions of client trades, the regulator said.
by FA Staff
Maier & Associates Financial Group of Bay City, Mich., was founded in 1984.
by
Edward Hayes
The firm has also rolled out a managed account program.
by
Daniel Taub
The board raised his pay 17% after cutting his compensation in 2022 because of profit declines.
by
Hannah Levitt
Dimon was granted a $1.5 million salary and $34.5 million of performance-based incentive compensation.
by
Tracey Longo
The trading platform used lottery-style scratch-off tickets and other gimmicks to attract investors, regulators said.
by FA Staff
The industry could lose 37.5% of advisors to retirement over the next decade, the research firm said.
